| 10-03889 | 03/12/2012 | Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Robert B. Ericson
Respondent(s): Andrew Zicklin
Respondent Lawyers(s): Andrew Zicklin
Arbitrator(s): David Zollman, Arthur F. Brueggeman, Thomas Mason Harwood
Hearing Site: Los Angeles, CA
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| 10-05128 | 03/12/2012 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Jerome Callaghan, Morgan Stanley
Respondent Lawyers(s): Nathaniel R. Wolf, Samuel P. Mauch
Arbitrator(s): Peter Ordower, Michael Steinberg, Edward Louis Koven
Hearing Site: Chicago, IL
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| 11-00762 | 03/12/2012 | Claimant(s): Jack Smith
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Worth Bagley
Respondent Lawyers(s): Richard A. Bunt
Arbitrator(s): James J. Dobbin, Jon C. Milliken, Donovan Evans Dorsey
Hearing Site: San Diego, CA
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| 11-01172 | 03/12/2012 | Claimant(s): John Boelke
Claimant Lawyers(s): John Raphael Boelke
Respondent(s): Paulson Investment Company
Respondent Lawyers(s): Steven C. Berman
Arbitrator(s): Gustavus L. Pearthree, David M. Levine, C. Richard Mancini
Hearing Site: Ft. Lauderdale, FL
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| 09-01557 | 03/09/2012 | Claimant(s): Kronos Fund Partners
Claimant Lawyers(s): Patrick Nelson
Respondent(s): Michael Megarit, Allegisone Securities.
Respondent Lawyers(s): Michael Allen Megarit, Terry L. Fleischman
Arbitrator(s): Herbert L. Brown, George King, William Michael Samsel
Hearing Site: San Francisco, CA
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| 10-01435 | 03/09/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Donald Limacher
Respondent Lawyers(s): Randall J. Clement
Arbitrator(s): G. Thomas Fleming, Michael G. Clark, Thanayi J. Lindsey
Hearing Site: Los Angeles, CA
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| 10-03530 | 03/09/2012 | Claimant(s): Denise Springer
Claimant Lawyers(s): Arthur C. Koski
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Matthew Wolper
Arbitrator(s): George K. Beardsley, Deborah J. Powell, Charlotte F. Abington
Hearing Site: Tampa, FL
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| 11-00883 | 03/09/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Scott Short
Respondent Lawyers(s): Scott W. Short
Arbitrator(s): Mandel E. Himelstein
Hearing Site: San Diego, CA
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| 11-02271 | 03/09/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Gregg W. Marsano
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Maryanne M. Esser
Hearing Site: Dallas, TX
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| 10-00888 | 03/07/2012 | Claimant(s): William Schumacher
Claimant Lawyers(s): John R. Kiefner
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Patricia Gunn, Thomas R. Carlsen, Dennis R. Sullivan
Hearing Site: Tampa, FL
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